Timothy Prouty, Arbitration Claim Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Investor Losses Timothy Prouty CRD #4928098 Timothy Prouty has been licensed with Morgan Stanley since 2009. According to Timothy Prouty’s CRD, Timothy Prouty was a subject of the customer’s complaint against Timothy Prouty’s member firm that asserted the following causes of action: suitability; deceptive trade …

Morgan Mezzanine Fund and Morgan Acquisitions LLC – SEC Files Complaint | Goodman & Nekvasil P.A. May Recover Investor Losses ACCORDING TO THE SEC: The Commission brings this emergency action to halt ongoing misconduct by Defendants in connection with a series of fraudulent private securities offerings, which Defendants have operated in a Ponzi scheme-like manner by using investor funds to …

Fallcatcher, Inc. – Complaint Filed by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses ACCORDING TO THE SEC: In mid-2018, Fallcatcher, a purported biometric device and software start-up, and Ford—its founder and chief information officer, among other things, and a convicted felon— defrauded approximately fifty investors of approximately $5 million. Defendants did so by selling shares of Fallcatcher’s …

Rebuilding America, LLC – Complaint Filed by SEC Against Owner | Goodman & Nekvasil P.A. May Recover Investor Losses ACCORDING TO THE SEC: The SEC brings this action against George Slowinski for perpetrating an offering fraud scheme involving real estate in Chicago. Slowinski was a principal and owner of Rebuilding America, LLC (“Rebuilding America”), an issuer of securities which, between …

James Hocker – Complaint Filed by SEC Alleging Fraud | Goodman & Nekvasil P.A. May Recover Investor Losses ACCORDING TO SEC ALLEGATIONS: From at least 2010 through 2017, James Hocker engaged in a fraudulent investment scheme, in which he falsely promised retail investors that he would invest their funds and achieve guaranteed returns of between 10% and 30%. In fact, …

Frank Kelly, Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses Frank Kelly CRD #2028226 Frank Kelly is currently licensed with HD Vest Investment Services. According to Frank Kelly’s CRD, Frank Kelly was suspended from the securities industry for three months and fined $5,000 in June 2019. According to Frank Kelly’s CRD, Frank Kelly …

Artis Proficio Capital Investments – Civil Action Filed by SEC | Goodman & Nekvasil P.A. May Recover Investor Losses ACCORDING TO THE SEC ALLEGATIONS: This matter involves an ongoing Ponzi scheme and offering fraud by Syed Arham Arbab (“Arbab”), a former student at the University of Georgia (“UGA”), and two entities under his operation and control, Defendants Artis Proficio Capital …

Andrew Perry, Arbitration Claims Filed Against Financial Advisor | Goodman & Nekvasil P.A., May Recover Losses Andrew Perry, Andrew Fredric Perry CRD #1726938 Andrew Perry is currently licensed with UBS Financial Services, Inc. According to Andrew Perry’s CRD, two arbitration claims have been filed in which Claimant’s Counsel alleges unsuitability and misrepresentation regarding an options overlay strategy. According to Andrew …

Peter Lewis Goffin (Peter Goffin) Arbitration Claim Filed Against Financial Advisor, Broker Peter Goffin  | Goodman & Nekvasil P.A., May Recover Investor Losses Peter Lewis Goffin (Peter Goffin) Financial Advisor CRD #1617710 According to Peter Goffin’s BrokerCheck Report:  Peter Goffin is a currently licensed financial advisor with Newbridge Securities Corporation. According to Peter Goffin’s CRD, an arbitration claim was filed …

Mark Elston, Financial Advisor Discharged from LPL Financial LLC | Goodman & Nekvasil P.A., May Recover Losses Mark Elston CRD #702496 Mark Elston is currently licensed with Stifel, Nicolaus & Company, Incorporated. Mark Elston was previously licensed with LPL Financial LLC. According to Mark Elston’s CRD, Mark Elston was discharged from LPL Financial LLC in December 2014. According to Mark …